Series 79 Exam Secrets Study Guide (PDF)

Includes Practice Test QuestionsGet the test prep help you need to be successful on the Series 79 test. The Series 79 Exam is extremely challenging and thorough test preparation is essential for success. Series 79 Exam Secrets Study Guide is the ideal prep solution for anyone who wants to pass the Series 79 Exam. Not only does it provide a comprehensive guide to the Series 79 Exam as a whole, it also provides practice test questions as well as detailed explanations of each answer. Series 79 Exam Secrets Study Guide includes: A thorough overview of the Series 79 Exam, A guide to collection, analysis, and evaluation of data, An in-depth look at underwriting/new financing transactions, types of offerings, and registration of securities, A breakdown of merger and acquisitions, tender offers, and financial restructuring transactions, An analysis of general securities industry regulations, Comprehensive practice questions with detailed answer explanations. It's filled with the critical information you'll need in order to do well on the test: the concepts, procedures, principles, and vocabulary that the Financial Industry Regulatory Authority (FINRA) expects you to have mastered before sitting for the exam. The Collection, Analysis, and Evaluation of Data section covers: Research reports, Liquidity, Employee stock options and stock appreciation rights (SARs), Qualified institutional buyer, Commission's review disclosures made by issuers under the Sarbanes-Oxley Act. The Underwriting/New Financing Transactions, Types of Offerings, and Registration of Securities section covers: Offering document and Road show presentation, Securities Exchange Act (SEA) Regulation S-X, SEC requirements to protect investors or upheld public interest, Exemptions from filing, Broker–dealers restrictions, Clearly erroneous transaction review, Rule 144 of the Securities Act of 1933. The Mergers and Acquisitions, Tender Offers, and Financial Restructuring Transactions section covers: Parachute payment, Regulation M-A, Determination of shares, Bankruptcy creditor payment order. The General Securities Industry Regulations section covers: National Association of Securities Dealers (NASD), Anti-money-laundering compliance program, Report of wrongdoing to the Financial Industry Regulatory Authority (FINRA). These sections are full of specific and detailed information that will be key to passing the Series 79 Exam. Concepts and principles aren't simply named or described in passing, but are explained in detail. The guide is laid out in a logical and organized fashion so that one section naturally flows from the one preceding it. Because it's written with an eye for both technical accuracy and accessibility, you will not have to worry about getting lost in dense academic language. Any test prep guide is only as good as its practice questions and answers, and that's another area where our guide stands out. Our test designers have provided scores of test questions that will prepare you for what to expect on the actual Series 79 Exam. Each answer is explained in depth, in order to make the principles and reasoning behind it crystal clear. We've helped thousands of people pass standardized tests and achieve their education and career goals. We've done this by setting high standards for our test preparation guides, and our Series 79 Exam Secrets Study Guide is no exception. It's an excellent investment in your future.